The Firm Short Positions and Fails-to-Receive in Municipal Securities section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
I OPPOSE RESTRICTIONS TO MY RIGHTS TO INVEST. Unequally applied regulations/laws, as well as attacks on Freedom of Speech/Religion/Gathering are unlawful/unconstitutional and need to be thoroughly examined and disciplined according to the law/constitution. "Regulators" are not the law or above it and need to be held accountable to do their jobs. Go after true corruption at it
Members of FINRA,
Leveraged and inverse ETFs are of great importance to me
and I strongly object to any new restrictions on the usage of these investment vehicles.
I presume that the potential new rules are motivated by the beliefs that 1) these funds are excessively risky and 2) without the new rules, investors will not understand the risks. I dispute both premises. The risks are already
Gentle ladies and Gentlemen, I hope you do not prevent investors from using various forms of ETF's, structured funds, and all the other forms of investment vehicles that some of us like to use to protect and enhance our portfolios. Speaking for myself only, because I cannot speak for all the other market participants as there are too many and they have areas of expertise that I don&#
I am writing to oppose restrictions on leveraged and inverse funds. Both of those funds allow investors to engage in investment strategies that is already allowed in an efficient manner. For example, Regulation T margin and portfolio margin offered by brokers already allows significant leverage and an inverse fund could be implemented by shorting the underlying security. What both leveraged
Hello - I am contacting you regarding recent communication I have received from my broker that may restrict my ability to invest in leveraged and other higher risk assets. I have spent the last two years studying these securities and understand them very well. I use well thought out risk management and diversity to ensure I would never lose a large sum of money in a major market move. For
I am a private investor and am writing this letter to express my concerns with the actions proposed in the FINRA regulatory notice 22-08. The actions described in the notice seem to fall under the premise that the government can chose the publicly traded investments that are best for me or worse, I have to jump through hoops to pass some sort of government test to invest in things such as
GUIDANCE
Research Analysts and Research Reports
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Fixed Income
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Legal & Compliance
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Research
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Background
In December 2005, the New York Stock Exchange (NYSE) and NASD
(the
Hi
I dont agree that FINRA should impose additional regulations for leveraged and inverse funds. Leveraged funds can be profitable in both bill and bear markets. Inverse investments protect investors from market downturns. They are an easy way for investors to lock in gains and/or reduce their exposure to market gyrations.
I am sure I personally can meet these regulations. However they will take
TO: All NASD Members
Effective November 13, 1984, all securities designated for inclusion in the NASDAQ National Market System will, as of the date of designation, become immediately marginable. This change is the result of recent amendments adopted by the Federal Reserve Board to its credit regulations governing the extension of credit by broker-dealers (Regulation T), banks (Regulation U), and
